UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`
`APPLE, INC.,
`Petitioner,
`
`v.
`
`PAPST LICENSING GMBH & CO., KG,
`Patent Owner.
`_______________
`
`Case IPR2016-01842
`Patent 9,189,437
`_______________
`___________________________________
`DECLARATION OF THOMAS A. GAFFORD UNDER 37 C.F.R. §
`42.53 IN SUPPORT OF PATENT OWNER RESPONSE UNDER 37
`C.F.R. § 42.120
`___________________________________
`
`Papst Licensing GmbH & Co., KG.
`Petitioner – Apple, Inc.
`Patent Owner - Papst Licensing GmbH & Co., KG.
`IPR2016-01842
`EXH. 2005
`
`
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`
`APPLE, INC.,
`Petitioner,
`
`v.
`
`PAPST LICENSING GMBH & CO., KG,
`Patent Owner.
`_______________
`
`Case IPR2016-01842
`Patent 9,189,437
`_______________
`___________________________________
`DECLARATION OF THOMAS A. GAFFORD UNDER 37 C.F.R. §
`42.53 IN SUPPORT OF PATENT OWNER RESPONSE UNDER 37
`C.F.R. § 42.120
`___________________________________
`
`Papst Licensing GmbH & Co., KG.
`Petitioner – Apple, Inc.
`Patent Owner - Papst Licensing GmbH & Co., KG.
`IPR2016-01842
`EXH. 2005
`
`
`
`TABLE OF CONTENTS
`
`
`
`INTRODUCTION ...............................................................................1
`I.
`BACKGROUND AND QUALIFICATIONS....................................2
`II.
`III. MATERIALS CONSIDERED ...........................................................6
`IV. PERSON OF ORDINARY SKILL IN THE ART ...........................7
`V. APPLICABLE LEGAL STANDARDS .............................................8
`VI. OVERVIEW OF THE ‘437 PATENT ............................................ 13
`VII. CLAIM CONSTRUCTION ............................................................. 16
`VIII. OVERVIEW OF PUCCI ................................................................. 18
`IX. OVERVIEW OF SCHMIDT ........................................................... 19
`X. OVERVIEW OF KEPLEY ............................................................. 19
`XI. VALIDITY OF THE ‘437 PATENT OVER PUCCI, SCHMIDT,
`KEPLEY, SHINOSKY, CAMPBELL AND WILSON ........................... 19
`
`
`
`
`
`
`i
`
`
`
`I.
`
`Introduction
`I have been retained on behalf of Papst Licensing GmbH & Co. KG
`1.
`
`(“Patent Owner” or “Papst”), and its counsel, DiNovo Price Ellwanger LLP, as an
`
`expert in this proceeding. I am personally knowledgeable about the matters stated
`
`herein.
`
`2.
`
`I understand that Dr. Erez Zadok has provided a declaration (“Zadok
`
`Declaration”) on behalf of Apple Inc. (“Petitioner” or “Apple”), indicating that
`
`claims 1, 4-6, 9-16, 18, 30, 32, 34, 43 and 45 of United States Patent No. 9,189,437
`
`(“‘437 patent”) are invalid.
`
`3.
`
`I have been asked to provide my conclusions and bases thereof
`
`regarding several aspects of the issues in dispute. Based on my investigation in this
`
`matter, I conclude that Petitioner and Dr. Zadok have failed to show that any of the
`
`claims discussed in the Petition or Zadok Declaration are invalid for anticipation or
`
`obviousness.
`
`4.
`
`I receive compensation at my standard hourly rate of $550 per hour for
`
`my time working on this matter, plus expenses. I have no financial interest in Papst
`
`or the ‘437 patent, and my compensation is not dependent on the outcome of this
`
`inter partes review (“IPR”) or the underlying litigation. The conclusions I present
`
`are due to my own judgment.
`
`5.
`
`I reserve the right to modify and supplement the analysis and
`
`
`
`
`1
`
`
`
`conclusions proposed herein based upon additional information including any
`
`additional fact discovery or expert discovery by the parties.
`
`II. Background and Qualifications
`6. My qualifications as an expert in the field of computer peripherals and
`
`data transfer between a computer and peripheral devices, relevant to the subject
`
`matter claimed in the ‘437 patent, are provided in the paragraphs below. A copy of
`
`my latest curriculum vitae (CV) is attached as Exhibit A, which provides further
`
`details regarding my background and qualifications. This CV identifies a list of all
`
`cases in which I have testified at trial or at deposition.
`
`7.
`
`I have over forty years of experience with electronics and electrical
`
`engineering, including extensive knowledge and experience with analog and digital
`
`electronic circuitry, digital computer technology, computer peripherals, control
`
`systems, digital communications, operating systems, and related software and
`
`hardware components. My technical expertise relevant to the subject matter claimed
`
`in the ‘437 patent includes my understanding of computer peripherals, analog and
`
`digital circuitry, interface devices, device drivers, file systems, SCSI standards, data
`
`buses, and operating systems.
`
`8.
`
`As a summary of my employment and education history, I worked as a
`
`Sergeant and Instructor for the United States Air Force as a maintenance technician
`
`for air defense computer systems from 1967–1970. After leaving the Air Force, I
`
`
`
`
`2
`
`
`
`earned my Bachelor of Science in Electrical Engineering in 1972 from the University
`
`of Washington. After graduating, I was a candidate for a Master of Science degree
`
`in Electrical Engineering at Stanford University from 1972–1973, and I worked from
`
`1973–1976 as an Engineer at Stanford University’s Artificial Intelligence
`
`Laboratory. My duties included the design, construction, and debugging of motor
`
`controls and sensor electronics for robotics and computer interfaces.
`
`9.
`
`After leaving Stanford, I founded G Systems in 1976, which managed
`
`the hardware and software design and development of computer transaction
`
`processing systems for a variety of applications and customers. Projects included
`
`writing communications software and device drivers, design of hardware and
`
`software interfaces for disk controllers, designing peripheral switches incorporated
`
`into system products, communications controllers, co-design of mainframe
`
`computers, and other projects.
`
`10.
`
`In 1983, I co-founded and served as head of engineering of Softix
`
`Incorporated. Softix designed and produced systems to control and sell
`
`entertainment tickets by ticket agencies and large arenas in the United States,
`
`Canada, Australia, and Hong Kong. My duties at Softix included managing software
`
`development efforts; developing architecture, design, sales, contracting, production,
`
`and field support of large-scale software and hardware systems; and analyzing,
`
`debugging, and writing software application and driver programs for feature
`
`
`
`
`3
`
`
`
`enhancements and system integration. I was also responsible for selecting,
`
`evaluating, integrating, and training customer staff and providing repair support for
`
`all hardware components of minicomputer systems; developing peripheral switch
`
`equipment for evolving system requirements; and manufacturing and selling
`
`peripheral switching equipment. In 1988-89, a colleague at my company and I
`
`designed a switch and repeater for the SCSI bus which required intimate knowledge
`
`of the bus protocol and general familiarity with the bus commands and device
`
`interface design. I applied for and received and successfully licensed four patents
`
`covering this work.
`
`11.
`
`I currently own and operate the consulting firm of Gafford Technology.
`
`The firm provides computer system-related services and offers analysis and
`
`presentation services to assist clients in litigation efforts. Specific services include
`
`consulting
`
`in computer system design, software selection, and network
`
`configuration, and providing expert factual analysis, claim interpretation assistance,
`
`prior art investigation, and testimony in patent and hardware/software systems
`
`litigation.
`
`12.
`
`I am generally familiar with the analysis of patents. I am the inventor
`
`of the following U.S. patents:
`
`• Switch for Distributed Arbitration Digital Data Buses, United States
`Patent No. 5,621,899, issued April 15, 1997;
`
`
`
`
`4
`
`
`
`• Method for Operating a Repeater for Distributed Arbitration Digital
`Data Buses, United States Patent No. 5,684,966, issued November 4,
`1997;
`• Repeater/Switch for Distributed Arbitration Digital Data Buses,
`United States Patent No. 5,758,109, issued May 26, 1998; and
`• Repeater/Switch for Distributed Arbitration Digital Data Buses,
`United States Patent No. 6,154,799, issued November 28, 2000.
`
`13. These patents relate to digital data buses used for communicating
`
`signals between different functional components of digital computers.
`
`14. Each of the patents listed above is directed to a repeater switch and
`
`related systems and methods for distributed arbitration digital data buses, and
`
`particularly applicable to a SCSI bus that I developed in the late 1980s. The repeater
`
`permits many devices to be placed near each other at the end of a SCSI cable without
`
`signal quality problems, and the switch permits sharing a device among several
`
`computers. Relevant to the patents as issue, both provide their features in a way that
`
`is transparent to the standard SCSI communications protocol and commands passed
`
`between initiator computers and target peripherals connected to the SCSI bus. All
`
`commands, including the common READ, WRITE, TEST UNIT READY, MODE
`
`SENSE, FORMAT DEVICE, and target behavior including disconnect/reconnect,
`
`pass through my switch and repeater as though the switch or repeater was not
`
`present. Through this work and my work in connection with other projects, I am
`
`very familiar with SCSI.
`
`15. The ‘437 patent concerns data acquisition systems for generating
`
`
`
`
`5
`
`
`
`analog data, and processing, storing, and transferring the acquired data to a host
`
`computer without requiring a user to install any drivers or specialized software on
`
`the host computer. I recognize this technology as being well within the sphere of
`
`my experience and expertise, and I understand the technology described in the
`
`patents fully. I believe my experience and education in this industry qualifies me to
`
`explain this technology and to address the issues of patent validity from the
`
`perspective of a person of ordinary skill in the art. I am qualified to submit expert
`
`analyses in this proceeding.
`
`III. Materials Considered
`I have reviewed and considered all documents discussed throughout
`16.
`
`this declaration, including the Petition related to IPR2016-01842 (including relevant
`
`exhibits), the Patent Owner Preliminary Response, the Decision of Institution related
`
`to IPR2016-01842, the ‘437 patent, the ‘437 patent prosecution history (or at least
`
`relevant parts thereof), the Zadok Declaration, Pucci, M., “Configurable Data
`
`Manipulation in an Attached Multiprocessor,” 1991 (“Pucci”), The SCSI Bus and
`
`IDE Interface Protocols, Applications and Programming, by Schmidt, First Edition,
`
`Addison-Wesley, 1995 (“Schmidt”), United States Patent No. 4,790,003 (“Kepley”)
`
`and the Patent Owner Response. Naturally, my review of these materials was
`
`informed by my education, my experience in and knowledge of the industry, and my
`
`work both as an engineer and a consultant.
`
`
`
`
`6
`
`
`
`IV. Person of Ordinary Skill in the Art
`I have been asked to address the issues from the perspective of a person
`17.
`
`of ordinary skill in the art (“POSITA”) of the invention of the ‘437 patent. As stated
`
`in the ‘437 patent, the field of the invention relates to “the transfer of data and in
`
`particular to interface devices for communication between a computer or host device
`
`and a data transmit/receive device from which data is to be acquired or with which
`
`two-way communication is to take place.” Exhibit 1001 (‘437 patent) at 1:18-22.
`
`18. Petitioner asserts that “a person having ordinary skill in the art
`
`(‘POSITA’) at the relevant time, would have had at least a four-year degree in
`
`electrical engineering, computer science, computer engineering, or related field of
`
`study, or equivalent experience, and at least two years’ experience in studying or
`
`developing computer interfaces or peripherals and storage related software.” Paper 2
`
`(Petition) at 8. Petitioner further contends that “[a] POSITA would also be familiar
`
`with operating systems (e.g., MS-DOS, Windows, Unix), their associated file systems
`
`(e.g., FAT, UFS, FFS), device drivers for computer components and peripherals (e.g.,
`
`mass storage device drivers), and communication interfaces (e.g., SCSI, USB,
`
`PCMCIA).” Id.
`
`19. Patent Owner contends that a POSITA would have at least a bachelor’s
`
`degree in a related field such as computer engineering or electrical engineering and at
`
`least three years of experience in the design, development, and/or testing of hardware
`
`
`
`
`7
`
`
`
`and software components involved with data transfer or in embedded devices and their
`
`interfaces with host systems. Paper 9 (Patent Owner Preliminary Response) at 6-7.
`
`Alternatively, a POSITA may have five or more years of experience in these
`
`technologies, without a bachelor’s degree. Id. at 7.
`
`20. The Board determined that there were not meaningful differences
`
`between the parties’ definitions of a POSITA and adopted Petitioner’s assessment
`
`of a POSITA in the Institution Decision. Paper 10 (Institution Decision) at 12.
`
`Because I agree with the Board that there are not meaningful differences between
`
`the parties’ definitions of a POSITA and because I qualify as a POSITA under either
`
`assessment, I will proceed with this declaration using the Board’s adopted definition
`
`of a POSITA.
`
`21.
`
`I consider myself to have at least the credentials of a person of ordinary
`
`skill in the art, and I am capable of addressing the issues from the perspective of
`
`such a person. As a result of my education, academic experience, and industrial
`
`experience, I am familiar with interface devices and peripheral technology and also
`
`with the state of that technology in March of 1997, when the first application to
`
`which the ‘437 patent claims priority was filed.
`
`V. Applicable Legal Standards
`22. As a technical expert, I am not offering any legal opinions. Rather I am
`
`offering technical assessments and opinions. In rendering my analysis, I have been
`
`
`
`
`8
`
`
`
`informed by counsel regarding various legal standards for determining patentability.
`
`I have applied those standards informing my technical opinions expressed in this
`
`declaration.
`
`23. The patent claims describe the invention made by the inventor and
`
`describe what the patent owner may prevent others from doing. I understand that an
`
`independent claim sets forth all the requirements that must be met in order to be
`
`covered by that claim. I further understand that a dependent claim does not itself
`
`recite all of the requirements of the claim but refers to another claim and incorporates
`
`all of the requirements of the claim to which it refers.
`
`24.
`
`It is my understanding that for a patent claim to be anticipated, all
`
`limitations of the claim must be disclosed or inherent in a single prior art reference.
`
`25.
`
`It is my understanding that a claimed invention is unpatentable if the
`
`differences between the invention and the prior art are such that the subject matter
`
`as a whole would have been obvious at the time the invention was made to a person
`
`having ordinary skill in the art to which the subject matter pertains. Obviousness,
`
`as I understand it, is based on the scope and content of the prior art, the differences
`
`between the prior art and the claim, and the level of ordinary skill in the art.
`
`26.
`
`I understand that when evaluating obviousness, one must not consider
`
`whether the claimed invention would have been obvious to a layman or to an expert;
`
`not use hindsight when comparing the prior art to the claimed invention; not consider
`
`
`
`
`9
`
`
`
`what was learned from the teachings of the patent; or use the patent as a road map
`
`for selecting and combining items of prior art. In other words, one should avoid
`
`using the challenged patent as a guide through the maze of prior art references,
`
`combining the right references in the right way so as to achieve the result of the
`
`claims at issue. Instead, one must put oneself in the place of a person of ordinary
`
`skill at the time the invention was made and consider only what was known before
`
`the invention was made and not consider what is known today.
`
`27.
`
`I understand that obviousness should be considered in light of the
`
`problem facing the inventor and the complexity of the alternatives for solving the
`
`problem. That individual elements of the claimed invention are disclosed in the prior
`
`art is not alone sufficient to reach a conclusion of obviousness.
`
`28.
`
`I also understand that when considering the obviousness of a patent
`
`claim, one should consider whether a teaching, suggestion, or motivation to combine
`
`the references exists so as to avoid impermissibly applying hindsight when
`
`considering the prior art. I understand that a previous approach to the motivation to
`
`combine required a teaching, suggestion, or motivation to be found explicitly or
`
`implicitly: (1) in the prior art; (2) in the knowledge of those of ordinary skill in the
`
`art; or (3) from the nature of the problem to be solved. However, I understand that
`
`a more expansive and flexible approach is now used when determining obviousness
`
`and the motivation to combine references. I understand that the legal determination
`
`
`
`
`10
`
`
`
`of the motivation to combine references allows recourse to logic, judgment, and
`
`common sense, but that any such motivation to combine references must still avoid
`
`the improper application of hindsight or reliance on the patentee’s disclosure of his
`
`invention as found in the patent specification, drawings and claims.
`
`29.
`
`I understand that if the teachings of a prior art reference would lead one
`
`skilled in the art to make a modification that would render that prior art device,
`
`system, or method inoperable, then such a modification would generally not be
`
`obvious. I also understand that if a proposed modification would render the prior art
`
`device, system, or method unsatisfactory for its intended purpose, then there is
`
`strong evidence that no suggestion or motivation existed at the time of the subject
`
`invention to make the proposed modification.
`
`30.
`
`I understand that it is improper to combine references where the
`
`references teach away from their combination. I understand that a reference may be
`
`said to teach away when a person of ordinary skill, upon reading the reference, would
`
`be discouraged from following the path set out in the reference, or would be led in a
`
`direction divergent from the path that was taken by the applicant. It is also my
`
`understanding that the degree of teaching away will depend on the particular facts;
`
`in general, a reference will teach away if it suggests that the line of development
`
`flowing from the reference’s disclosure is unlikely to be productive of the result
`
`sought by the applicant. I understand that a reference teaches away, for example, if
`
`
`
`
`11
`
`
`
`(1) the combination would change the principle of operation of the base reference,
`
`(2) the combination would produce a seemingly inoperative device, or (3) the
`
`references leave the impression that the product would not have the property sought
`
`by the applicant or would no longer achieve the intended purpose(s) of the references
`
`being modified or combined.
`
`31. Secondary considerations of obviousness are also considered in
`
`determining whether a claimed invention is obvious. For example, commercial
`
`success of the invention, copying by others, long-standing need in the art resolved
`
`by the patented invention, prior failure of others to solve the problem, licenses
`
`of the invention by others, unexpected results of the invention and skepticism of
`
`the invention or teaching away from the invention by others all tend to establish that
`
`an invention was non-obvious.
`
`32.
`
`I understand that the first step in determining either validity or
`
`infringement is to properly construe the claims. While it is my understanding that
`
`the Board is not bound by any previous claim constructions in the Institution
`
`Decision or in other judicial proceedings, a district court claim construction issued
`
`on March 7, 2017 in the underlying litigation related to this proceeding and
`
`construed some of the terms of the ‘437 patent. I will discuss the claim constructions
`
`I have considered for certain limitations in more detail below.
`
`33.
`
`It is my understanding that an issued United States patent is presumed
`
`
`
`
`12
`
`
`
`to be valid. It is my further understanding that it is the Petitioner’s burden to
`
`establish invalidity, including invalidity based on either anticipation or obviousness,
`
`by a preponderance of the evidence in this proceeding. Invalidity issues are
`
`determined on a claim-by-claim basis by comparing the claim to the prior art.
`
`VI. Overview of the ‘437 Patent
`34. The ’437 patent involves a unique method for achieving high data
`
`transfer rates for data acquisition systems (e.g., still pictures, videos, voice
`
`recordings) to a general-purpose computer, without requiring a user to purchase,
`
`install, and/or run specialized software for each system. Exhibit 1001 (’437 patent)
`
`at 3:33-37. At the time of the invention, there were an increasing number and variety
`
`of data acquisition systems with the ability to capture high volumes of information.
`
`Id. at 1:42-60. As such, there was an increasing demand to transfer that information
`
`to commercially-available, general purpose computers. Id. at 1:29-41. But at that
`
`time—and today—performing that data transfer operation required either loading
`
`specialized, sophisticated software onto a general purpose computer, which
`
`increases the risk of error and the level of complexity for the operator, or specifically
`
`matching interface devices for a data acquisition system to a host system that may
`
`maximize data transfer rates but lacks the flexibility to operate with different
`
`devices. Id. at 1:24-3:25.
`
`35. The ‘437 patent recognizes that the existing options were wasteful and
`
`
`
`
`13
`
`
`
`inefficient and presents a solution that would achieve high data transfer rates,
`
`without specialized software, while being sufficiently flexible to operate
`
`independent of device or host manufacturers. Id. at 2:20-41 and 3:29-32. The
`
`resulting invention would allow a data acquisition system to identify itself as a type
`
`of common device so as to leverage the inherent capabilities of general-purpose,
`
`commercially-available computers. Id. at 4:16-30. Accordingly, users could avoid
`
`loading specific software; improve data transfer efficiency; save time, processing
`
`power, and memory space; and avoid the waste associated with purchasing
`
`specialized computers or loading specific software for each device. Id. at 3:29-32,
`
`3:33-46, 7:38-8:4, 8:34-41, 9:23-27 and 11:38-55. The ’437 patent claims variations
`
`of this concept and provides a crucial, yet seemingly simple, method and apparatus
`
`for a high data rate, device-independent information transfer. Id. at 3:29-32.
`
`36. The interface device disclosed in the ‘437 patent can leverage “drivers
`
`for input/output device[s] customary in a host device which reside in the BIOS
`
`system of the host device . . . .” Id. at 10:25-26; see also id. at 4:23-27 (“The
`
`interface device according
`
`to
`
`the present
`
`invention
`
`therefore no
`
`longer
`
`communicates with the host device or computer by means of a specially designed
`
`driver but by means of a program which is present in the BIOS system . . .”), 5:17-
`
`23 (describing the use of “usual BIOS routines” to issue INQUIRY instructions to
`
`the interface), and 7:57-64 (describing use of BIOS routines). Similarly, the written
`
`
`
`
`14
`
`
`
`description describes also using drivers included in the operating system. Id. at 5:11-
`
`14 (“Communication between the host system or host device and the interface device
`
`is based on known standard access commands as supported by all known operating
`
`systems (e.g., DOS®, Windows®, Unix®).”). Alternatively, if the required specific
`
`driver or drivers for a multi-purpose interface (such as a SCSI interface) is already
`
`present in a host device, such drivers could be used with the ‘437 patent’s interface
`
`device instead of, or in addition to, customary drivers which reside in the BIOS. Id.
`
`at 10:23-29. Accordingly, the ‘437 patent contemplated a universal interface device
`
`that could operate independent of the manufacturer of the computer. Id. at 11:38-
`
`55. Indeed, the preferred embodiment discloses that the interface device includes
`
`three different connectors, a 50 pin SCSI connector 1240, a 25 pin D-shell connector
`
`1280, and a 25 pin connector 1282, to allow the ‘437 Patent’s interface device to
`
`connect to a variety of different standard interfaces that could be present in a host
`
`computer. Id. at 8:42-59 and FIG. 2.
`
`37. As is apparent from the title of the ‘437 patent, the interface device
`
`disclosed is capable of acquiring and processing analog data. As shown in FIG. 2
`
`reproduced below, the ‘437 patent discloses that the interface device 10 has an
`
`analog input at connection 16 for receiving analog data from a data transmit/receive
`
`device on a plurality of analog input channels 1505 and simultaneously digitizing
`
`the received analog data using, inter alia, a sample and hold amplifier 1515 and an
`
`
`
`
`15
`
`
`
`analog to digital converter 1530 that converts analog data received from the plurality
`
`of channels 1505 into digital data that may then be processed by the processor 1300.
`
`Id. at 8:60-9:8 and 9:41-56.
`
`VII. Claim Construction
`I have experience applying claim constructions that are provided to me
`38.
`
`in connection with my prior art work as an expert in district court proceedings and
`
`
`
`IPR proceedings.
`
`
`
`
`16
`
`
`
`39.
`
`It is my understanding that the Board ordinarily construes terms based
`
`on their broadest reasonable construction in view of the specification. However,
`
`because the ‘437 patent will likely expire prior to the Final Written Decision in the
`
`present proceeding, it is my further understanding that the Board will construe the
`
`‘437 patent claims based on their ordinary and customary meaning in accordance
`
`with Phillips v. AWH Corporation, 415 F.3d 1303 (Fed. Cir. 2005) (en banc). Paper
`
`10 (Institution Decision) at 13.
`
`40.
`
`In the Institution Decision, the Board preliminarily adopted a claim
`
`construction related to a “customary device driver” and discussed claim construction
`
`issues related to a “multi-purpose interface.” Paper 10 (Institution Decision) at 13-
`
`17. “Customary device driver” was construed to mean “a driver for a device
`
`normally present in most commercially available host devices (e.g., a hard disk
`
`driver or a SCSI driver).” Id. at 17. “Multi-purpose interface” was not formally
`
`construed, but the Board determined that it at least encompassed a “SCSI interface.”
`
`Id. at 15.
`
`41.
`
`In the underlying district court litigation related to this IPR, a claim
`
`construction order issued on March 7, 2017 that further construed certain terms of
`
`the ‘437 patent. A copy of this claim construction order is being included as Exhibit
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`2006.
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`
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`17
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`
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`VIII. Overview of Pucci
`42. The ION Data Engine is described in the reference, Pucci, M.,
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`“Configurable Data Manipulation in an Attached Multiprocessor,” (1991). The ION
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`Data Engine is a multiprocessor tasking system for providing data manipulation
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`services for collections of workstations. Exhibit 1041 (Pucci) at 217. The ION Data
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`Engine allows applications residing in the workstation to implement specific
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`functions by enabling the reading or writing of specific block addresses within the
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`ION drive. Id. at 221.
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`43. The ION system couples an analog to digital converter (ADC) to a SCSI
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`target interface through a memory buffer. The SCSI target responds to disk drive
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`commands for reading. However, access by the host to ADC data is done by means
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`of the host reading a single block address in the simulated disk drive. Thus, the ADC
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`data is not provided by files in a file system. The ION reference also has the ability
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`to emulate a file system, but it teaches that this is only used for disk drive
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`performance analysis, not for ADC access. Id. at 236. As such, the reference teaches
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`away from accessing ADC data in the form of files because files exists but are not
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`used for ADC data. As described in Pucci, ADC data is accessed by an application
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`that does not use the host computer’s file system, and instead reads a certain disk
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`block to obtain ADC data. Id. at 221.
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`18
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`
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`IX. Overview of Schmidt
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`44. As the Board stated, “Schmidt describes the SCSI bus and IDE
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`Integrated Drive Electronics (“IDE”) interface, which both are American Nation
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`Standards Institute (“ANSI”) standards.” Paper 10 (Institution Decision) at 21;
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`Exhibit 1007 (Schmidt) at Preface. “According to Schmidt, these interfaces are two
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`of the most important interfaces for computer peripherals in use at that time, and
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`almost all computers at that time, from PCs to workstations to mainframes, were
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`equipped with a SCSI interface.” Id. “The SCSI bus is designed for hard drives, as
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`well as tape drives, CD-ROM, scanners, and printers.” Id.
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`X. Overview of Kepley
`45. The Kepley invention “relates to business communication systems and,
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`in particular, to a message service system network that interconnects a plurality of
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`message service systems and provides a voice mail message transfer capability
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`between voice mail message service systems.” Exhibit 1042 (Kepley) at Abstract.
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`“The voice mail message transfer is performed as a computer-to-computer data file
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`transfer operation over high speed data lines.” Id. “The data file consists of the
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`digitally encoded and compressed voice mail message to which is appended the
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`message sender’s name and telephone number as well as the message recipient’s
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`telephone number.” Id.
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`XI. Validity of the ‘437 Patent Over Pucci, Schmidt, Kepley, Shinosky,
`Campbell and Wilson
`46. Claim 1 of the ‘437 Patent includes a “wherein the processor is adapted
`19
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`to implement a data generation process by which analog data is acquired from each
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`respective analog acquisition channel of a plurality of independent analog
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`acquisition channels, the analog data from each respective channel is digitized,
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`coupled into the processor, and is processed by the processor, and the processed and
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`digitized analog data is stored in the data storage memory as at least one file of
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`digitized analog data” limitation.
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`47. Dr. Zadok opines that Pucci and/or Kepley disclose this claim element.
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`Exhibit 1003 (Zadok Declaration) at ¶¶76-97. I disagree. In my opinion, Pucci fails
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`to disclose this limitation because in Pucci the ION Node stores and delivers
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`processed analog sensor data to the ION Workstation using a first in/first out data
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`write and read approach, and not a file format.
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`48. Pucci describes the digitization of analog data as follows:
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`The third task interfaces to the SCSI bus and returns data to the workstation
`when requested. This task defines a SCSI action function which contains 4
`block addresses for each of 5 A-to-D channels. Each channel contains a block
`address to start conversion, stop conversion, return status, and retrieve A-to-
`D data.
`The part of the application that runs on the workstation requests converted
`data in response to a start/stop signal from other system hardware, which
`indicates the beginning and end of a recording session. Upon start, the
`workstation reads the A-to-D start address for an appropriate channel,
`activating the device. It then retrieves data by reading the data block address
`for that channel, while also monitoring for an end-of-session indication.
`When the latter occurs, the workstation reads the stop address, halting the data
`conversion. It continues to read the data address until all buffered data have
`been obtained. The channel is then available for reuse.
`Exhibit 1041 (Pucci) at 232 (emphasis added).
`20
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`49. The above passage shows that the ION uses a first in/first out (FIFO)
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`approach to data writing and reading, and not a file format approach, because the
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`data is being accessed by the workstation while new data is being collected. New
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`data is collected until the workstation reads a stop address and previously collected
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`data is read “until all buffered data have been obtained.” Id. Thus, data is being
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`buffered instead of being stored in a file.
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`50. Further, it was well known to a POSITA at the time that it is not
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`necessary to store data in files. Nor would it be obvious to store sensor data in a file
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`in a system where one may choose to access and read data that was first available
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`prior to all of the data of a “file” being written, such as in the ION voice messaging
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`application.
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`5
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